Monitor with the Compliance Reviewer
Your company is liable for all incoming, internal & outgoing email distributed via its email system. Working with the Message Archiver, the Compliance Reviewer, Global Relay's turnkey messaging supervisory system, enforces & monitors your policies & procedures regarding appropriate email & IM usage, corporate governance & privacy by enabling the review of your company's email.
The Compliance Reviewer was specifically engineered to meet the stringent legal & regulatory compliance requirements of Broker-Dealers & Investment Advisors, such as NASD Rule 3010, SEC Rule 206(4)-7 & IDA Bylaw 29.7, regarding the supervision of email communications.
Via an intuitive, color-coded icon based user interface, a Reviewer (typically, a manager or privacy/compliance officer) can instantly retrieve for review any flagged message & then quickly select the appropriate action icon to log its status. If applicable, a first-level Reviewer may "Escalate" any non-compliant message to a Super Reviewer for further evaluation.
Once a message has been:
Flagged for review
Reviewer may mark the message as:
No action taken
Reviewed
Non-compliant
Non-compliant - Closed
If Escalated 
, the message is marked:
Flagged for review
Super Reviewer may mark the message as:
No action taken
Reviewed
Non-compliant
Non-compliant - Closed
Business Benefits of the Compliance Reviewer
- Productivity improvements & decrease in personal email use due to monitoring
- Real-time Detection of inappropriate or misleading email content
- Safeguards against disclosure of company confidential documents or intellectual property
- Unifies & synchronizes your IT, employees & business processes
- Seamlessly Integrates with the Message Archiver
Technical Features of the Compliance Reviewer
- Scan & Monitor email, attachments, IM & Bloomberg® from online Archiver
- Content Filtering with company-defined rules to identify prohibited content
- Advanced Analysis with Boolean logic, criteria lists, proximities & action alerts
- Random Sampling of each rep's messages customized by percentage & user
- Keyword Search results are highlighted within the message for quick discovery
- Full Review of messages & attachments, or bulk review of headers only
- Reviewer approval, rejection, escalation based on action icons & defined notes
- Multi-tiered Review structure for review escalation to Super Reviewers
- Wizard Commands for pre-defined, single-click compliance using folders, flags, priorities & labels
- Exclude Words, phrases or email accounts (e.g. disclaimers, attorney-client privileged mail, newsletters) from Flagging Rules
- Access Rights of authorized Reviewers governed by customized security rules
- Notifications of compliance violations by email or IM
- Audit Trail with detailed time history of reviews & related actions taken
- Web-based Control Center to modify surveillance & monitoring procedures
- Reviewer-defined Folders to categorize email for organizational or litigation purposes, with export to CD
Frequently Asked Questions
How does the Compliance Reviewer work?
Using powerful search engines, the Compliance Reviewer is able to retrieve your firm's messages from the Message Archiver & apply easy-to-use, company-defined filters & Wizard Commands for efficient review & monitoring of all archived email, IM, & Bloomberg messages.
Does the Compliance Reviewer come together with the Message Archiver?
Yes, the Compliance Reviewer is incorporated into the Message Archiver. There are no extra fees or setup required.
Can messages be flagged for review on import?
Messages automatically analyzed on import can be flagged for review if violations are detected, as follows:
- Real-time filtering for keyword or phrase violations (startup keyword list provided)
- Structured query using various search criteria
- Advanced rule-based keyword & phrase proximity analysis
- Random sampling (by User, User Group or company-wide using percentages)
Will users know that their messages have been reviewed by a Reviewer?
No, users will not have any indication that their messages are being reviewed, nor any comments or escalation actions that happen subsequently, unless the Reviewer informs them. We do suggest that employees be informed that a monitoring system has been deployed.
